Federal Personnel: Conversion of Employees from Appointed (Noncareer) Positions to Career Positions in the Executive Branch

^Pr^ep^ar^{ed f}^o^r^M^e^m^b^ers^an^d^Com^mⁱ^t^t^ees^of^C^ong^r^e^ss

The term “burrowing in” is sometimes used to describe an employment status conversion
whereby an individual transfers from a federal appointed (noncareer) position to a career position
in the executive branch. Critics of such conversions note that they often occur during the
transitional period in which the outgoing administration prepares to leave office and the incoming
administration prepares to assume office. Conversions are permissible when laws and regulations
governing career appointments are followed, but they can invite scrutiny because of the
differences in the appointment and tenure of noncareer and career employees.
Appointments to career positions in the executive branch are governed by law and regulations
that are codified in Title 5 of the United States Code and Title 5 of the Code of Federal
Regulations, and are defined as personnel actions. In taking a personnel action, each department
and agency head is responsible for preventing prohibited personnel practices; for complying with,
and enforcing, applicable civil service laws, rules, and regulations and other aspects of personnel
management; and for ensuring that agency employees are informed of the rights and remedies
available to them. Such actions are required to adhere to the merit principles and prohibited
personnel practices that are codified at 5 U.S.C. §2301(b) and §2302(b), respectively. These
principles and practices are designed to ensure that the process for selecting career employees is
fair and open (competitive), and without political influence. The Office of Personnel Management
(OPM) has general authority to examine conversions. Additionally, from March 17, 2008, through
January 20, 2009, conversions of employees from noncareer positions to career positions in the
competitive service and the career Senior Executive Service are subject to pre-appointment
review by OPM. Certain senior politically appointed officers are prohibited from receiving
financial awards during the Presidential Election Period, defined in statute and currently covering
June 1, 2008, through January 20, 2009.
As part of its oversight of government operations, Congress also monitors conversions. In the ^th
110 Congress, staffing at the Departments of Homeland Security (DHS) and Justice (DOJ) has
been of particular interest. Both departments received letters from Members of Congress
reminding them to examine conversions: the Chairman of the House Committee on Homeland
Security, Representative Bennie Thompson, wrote to the DHS Secretary in February 2008, and
Senators Dianne Feinstein and Charles Schumer, members of the Senate Committee on the
Judiciary, wrote to the Attorney General in July 2008 about this issue. In assessing the current
situation, Congress may decide that the existing oversight is sufficient. If Congress determines
that additional measures are needed, OPM, and the departments and agencies, could be directed
to include information on conversions in their annual performance plans accompanying the
budget justifications. The Government Accountability Office and OPM could be asked to explore
options that might result in their recommending and taking timely remedial actions that are seen
as necessary to address conversions that occurred under improper procedures. This report will be
updated as events dictate.

Backgr ound ............................................................................................................................... 1
Selected Law and Regulations..................................................................................................2
Oversight of Conversions from Noncareer to Career Positions................................................5
The Current Transition Period...................................................................................................7
Considerations to Enhance Oversight.......................................................................................8
Table 1. Merit System Principles and Prohibited Personnel Practices...........................................2
Author Contact Information..........................................................................................................10

Some individuals, who are serving in appointed (noncareer) positions in the executive branch,
convert to career positions in the competitive service, the Senior Executive Service (SES), or the ¹
excepted service. This practice, commonly referred to as “burrowing in,” is permissible when
laws and regulations governing career appointments are followed. While such conversions may
occur at any time, frequently they do so during the transition period when one administration is
preparing to leave office and another administration is preparing to assume office.
Generally, these appointees were selected noncompetitively and are serving in such positions as ²
Schedule C, noncareer SES, or limited tenure SES that involve policy determinations or require a
close and confidential relationship with the department or agency head and other top officials. ³
Many of the Schedule C appointees receive salaries at the GS-12 through GS-15 pay levels. The
noncareer and limited tenure members of the SES receive salaries under the pay schedule for ⁴
senior executives that also covers the career SES. Career employees, on the other hand, are to be
selected on the basis of merit and without political influence following a process that is to be fair
and open in evaluating their knowledge, skills, and experience against those of other applicants.
The tenure of noncareer and career employees also differs. The former are generally limited to the
term of the administration in which they are appointed or serve at the pleasure of the person who
appointed them. The latter constitute a work force that continues the operations of government
without regard to the change of administrations.
Paul Light, a professor of government at New York University, who has studied appointees over
the past several administrations, reportedly believes that the pay, benefits, and job security of ⁵
career positions underlie the desire of individuals in noncareer positions to “burrow in.” The
President of the Senior Executives Association, Carol Bonosaro, echoed this viewpoint in stating
the following:
^R^e^m^e^m^b^{er, n}^o^{t ev}^er^y^bod^y^w^{ho com}^e^sⁱⁿ^is^g^oⁱⁿ^g^{to h}^a^v^e^{a very}^hⁱ^g^h^-^p^rof^{ile j}^{ob w}^h^ere^t^h^ey
^{are g}^oⁱⁿ^g^t^o^{be abl}^e^t^o^l^{eave an}^d^m^a^k^e^real^l^y^g^ood^m^oⁿ^e^y^{.... Not}^e^v^er^y^oⁿ^e^h^a^{s h}^a^d

¹^A^ppointm^e^nts^{to c}^a^r^e^e^r^c^o^m^p^e^titiv^e^s^e^rv^ice^pos^itio^ns^inc^l^ude^re^qu^ire^m^eⁿ^ts^f^o^{r a}^pprov^e^d^q^u^a^lif^ic^a^{tion s}^t^a^nda^r^d^s^,
^pub^lic^aⁿⁿ^o^uⁿ^c^e^m^eⁿ^{t of}^{job v}^a^c^a^nc^ie^s^,^r^a^ting^of^a^pplic^aⁿ^ts^{, a}ⁿ^{d c}^o^m^p^le^{tion of}^a^pr^o^b^a^tio^na^r^y^pe^rⁱ^od^a^{nd t}^h^r^e^e^y^e^a^r^s^of
^c^ontiⁿ^u^{ous se}^rv^ic^e^;^c^a^r^e^e^r^{SES p}^o^sitio^{ns i}ⁿ^c^l^ude^re^vⁱ^e^w^b^y^the^Offic^e^of^P^e^rson^ne^{l Ma}^na^g^e^m^e^{nt (OPM) a}ⁿ^d
^c^e^r^tif^ic^a^{tion of}^a^c^a^ndi^da^te^{’s a}^b^ili^ty^b^y^a^Qua^lⁱ^f^ic^a^tions^Re^vⁱ^e^w^Boa^r^{d; a}ⁿ^d^c^a^r^e^e^r^e^x^c^e^pte^d^se^rv^ic^e^positio^{ns a}^llow
^a^g^eⁿ^cⁱ^e^s^{to e}^s^ta^blis^{h the}ⁱ^r^ow^{n hir}ⁱ^ng^pr^oc^e^d^ur^e^s^{, b}^u^{t r}^e^quir^e^t^hos^e^sy^s^t^em^s^{to c}^onf^or^m^{to m}^e^r^{it sy}^s^t^em^pr^incⁱ^ple^s^a^nd
^vet^e^ran^s^p^r^eferen^ce.
²^A^ppointm^e^nts^to^SES^posⁱ^tio^ns^t^h^a^t^ha^v^e^a^lim^ite^{d te}^r^m^m^a^y^be^f^o^r^up^to³⁶^m^onths^{, a}ⁿ^{d t}^hos^e^t^h^a^t^a^r^e^{to m}^e^e^t^aⁿ
^em^e^r^ge^ncy⁽^una^ntic^ipa^t^e^d^or^ur^g^e^{nt ne}^e^d⁾^m^a^y^be^f^o^r^{up t}^o^{18 m}^oⁿ^t^hs^.
³^G^S^r^e^f^e^r^s^{to the}^G^e^ne^r^a^{l Sc}^he^dul^e^,^the^pa^y^s^c^he^dule^tha^t^c^o^v^e^r^s^w^h^ite^-^c^olla^r^e^m^ploy^ee^s^{in the}^f^e^de^r^a^{l g}^o^v^e^rⁿ^m^e^{nt. A}^s
^of^J^a^nua^r^y^{2008, t}^h^e^s^a^la^rⁱ^e^s^f^r^o^m^G^S^-^{12, s}^t^e^p^{1, t}^o^G^S^-¹⁵^,^s^t^e^p¹⁰^,^{in t}^h^e^W^a^s^h^ing^t^on^{, D}^C^,^pa^y^a^r^e^a^r^a^ng^e^d^f^r^o^m
^$69^,7^{64 to $1}⁴⁹^,0^00.
⁴^Sa^la^rⁱ^e^s^f^o^r^m^e^m^b^e^r^s^of^the^SES^a^r^e^de^te^r^m^ine^d^aⁿⁿ^u^a^lly^by^a^g^eⁿ^cy^he^a^d^s^“^unde^r^a^rⁱ^g^o^r^o^us^pe^r^f^or^m^a^nc^e
^m^a^na^g^e^m^e^{nt sy}^s^t^em^,”^a^{nd r}^a^ng^e^f^r^o^m^the^mⁱⁿⁱ^m^u^m^r^a^te^of^ba^sⁱ^c^pa^y^f^o^r^a^s^e^nior^le^v^e^{l (}^S^L⁾^em^ploy^ee⁽^120%^of^the
^mⁱⁿⁱ^m^u^m^b^a^{sic p}^a^y^rate^f^o^{r G}^S^-1⁵^;^$¹¹⁴^,⁴⁶⁸^{, as o}^f^Jan^u^a^ry²⁰⁰⁸⁾^to^eith^er^{EX L}^e^v^e^{l III ($}¹⁵⁸^,⁵⁰⁰^,^{as o}^f^Jan^u^a^r^y
²⁰⁰⁸⁾^,^{in a}^g^eⁿ^cⁱ^e^s^w^hos^e^pe^r^f^or^m^a^nc^e^a^ppr^aⁱ^s^a^{l s}^y^s^t^em^s^ha^v^e^{not b}^e^eⁿ^c^e^r^tif^ie^{d by}^O^P^{M a}^s^m^a^kⁱ^ng^“m^e^aⁿ^ingf^ul
^dis^tinc^tⁱ^ons^ba^s^e^{d o}ⁿ^r^e^la^tiv^e^pe^r^f^or^m^a^nc^e^,^”^or^{EX L}^e^v^e^{l I}^I⁽^$17^2,²^{00, a}^s^of^J^a^nua^r^y²⁰⁰⁸⁾^,^{in a}^g^eⁿ^cⁱ^e^s^w^hos^e
^pe^r^f^or^m^a^nc^e^a^ppr^aⁱ^s^a^{l sy}^s^t^em^s^ha^v^e^be^eⁿ^s^o^c^e^r^tif^ie^d.
⁵^Ch^ri^st^op^h^e^{r L}^ee,^“P^o^lⁱ^tⁱ^cal^A^p^p^oⁱⁿ^t^{ees Bu}^rro^wⁱⁿ^g^In^,^”^Wa^s^hⁱⁿ^g^t^on^P^o^st^{, O}^c^to^be^r^5,²⁰⁰⁷^,^{p. A}^19.

ⁿ^ecess^a^ril^y^{a s}^t^rong^en^ough^back^g^r^oun^{d to g}^o^back^ou^{t. T}^h^e^y^m^a^y^ju^s^t^h^a^v^e^b^e^eⁿ^a^c^a^m^p^aⁱ^gⁿ⁶
^wo^r^k^e^r^.
Beyond the fundamental concern that the conversion of an individual from an appointed
(noncareer) position to a career position may not have followed the legal and regulatory
requirements, “burrowing in” raises other concerns. When the practice occurs, there may be these
perceptions (whether valid or not): that an appointee converting to a career position may limit the
opportunity for other employees (who were competitively selected for their career positions,
following examination of their knowledge, skills, and experience) to be promoted into another
career position with greater responsibility and pay; or that the individual who is converted to a
career position may seek to undermine the work of the new administration whose policies may be
at odds with those that he or she espoused when serving in the appointed capacity. Both
perceptions may increase the tension between noncareer and career staff, thereby hindering the
effective operation of government at a time when the desirability of creating “common ground” ⁷
between these staff to facilitate government performance has been emphasized.
Appointment to a career position in the executive branch is governed by law and regulations, and ⁸
is defined in law as a type of personnel action. In taking any personnel action, including
appointment to a career position, each department and agency head is responsible for preventing
prohibited personnel practices; for complying with, and enforcing, applicable civil service laws,
rules, and regulations and other aspects of personnel management; and for ensuring that agency
employees are informed of the rights and remedies available to them. Personnel actions must
adhere to the nine merit principles and 12 prohibited personnel practices that are codified in Title
5 of the United States Code at 5 U.S.C. §§2301(b) and 2302(b), respectively. Table 1 below
presents these principles and practices.
Table 1. Merit System Principles and Prohibited
Personnel Practices
^{Merit S}^{ystem Principles}^{Prohibited Personnel Practic}^es
^{Recruit from q}^{ualified individuals}^{to achieve a}^{Discriminating for or against any}^{employee or applicant}^for
^{workforce from all segments}^{of s}^{ociety; selection}^{employment on t}^he^{basis of race,}^{color, relig}^{ion, sex, national}
^{and advanceme}^{nt solely on the}^b^{asis of relative}^{origin, age, handicapping conditio}^{n, marital status, or political}
^{ability, knowledge}^{, and skills; and}^{assure e}^qual^affiliati^on.
^opportu^{nity throug}^{h fair a}^{nd ope}^{n competition.}

⁶^Ibid^.
⁷^Se^e^,^f^o^r^e^x^am^ple^,^Ma^r^a^{nto, R}^obe^r^t^,^B^eyo^nd^a^Go^vern^m^en^t^o^f^S^t^rang^{ers: Ho}^{w Ca}^{reer E}^xecu^tⁱ^{ves a}^{nd P}^o^lⁱ^tⁱ^c^a^l
^App^o^inte^e^s^Ca^{n T}^u^rⁿ^Con^flic^{t t}^o^Coope^r^a^tioⁿ^{, L}^a^nha^m^:^L^e^xⁱ^ng^ton^B^ook^s^,²⁰^{05; a}^{nd D}^a^na^Mic^h^a^e^l^H^a^r^s^e^{ll, “}^W^or^kⁱ^ng
^W^{ith C}^a^r^e^e^r^Ex^e^c^u^tiv^e^s^{to Ma}^na^ge^f^o^r^R^e^s^u^lts^,”^{in I}^B^M^C^e^nte^r^f^o^r^T^h^e^B^u^sⁱ^ne^s^s^of^G^ove^rⁿ^m^e^{nt, Es}^s^a^y^s^{on W}^o^r^k^ing
^{in W}^a^s^h^ing^t^on^{, T}^h^e^C^e^nte^r^{: J}^aⁿ^u^a^r^y^2005,^pp.³⁴^-⁴^4.
⁸^T^h^e^la^w^,^c^odifⁱ^e^d^a^t^{5 U}^.^S.C^.^§²³⁰²⁽^a⁾^,^de^fⁱ^ne^s^pe^r^s^on^ne^{l a}^c^tio^ns^a^s^a^ppoi^ntm^e^nts^;^pr^om^otio^ns^{; a}^d^v^e^r^s^e^a^c^tions^or
^othe^r^dis^c^ipli^na^r^y^or^c^o^r^r^e^c^tiv^e^a^c^tion;^de^ta^ils^,^tr^aⁿ^s^f^e^r^s^,^or^re^a^ssigⁿ^m^e^{nts; re}^insta^t^e^m^eⁿ^{ts; re}^stora^tion^s^{; re}^e^m^ploy^m^e^nt;
^pe^r^f^or^m^a^nc^e^e^v^a^l^ua^tions^;^de^cⁱ^sⁱ^oⁿ^s^c^onc^e^rⁿⁱ^ng^pa^y^,^be^ne^f^its^{, or}^a^w^a^r^ds^{, c}^onc^e^r^ning^e^duc^a^tioⁿ^or^tr^aⁱ^ning^{, if}^s^u^c^h^m^a^y
^r^e^a^s^ona^bly^be^e^x^pe^c^t^e^d^{to le}^a^d^to^a^pe^r^s^onne^l^a^c^tion^;^a^de^cⁱ^sⁱ^oⁿ^t^o^o^r^de^r^ps^y^c^hia^t^rⁱ^c^te^s^ting^or^e^x^am^ina^{tion; a}^{nd a}ⁿ^y
^othe^{r s}ⁱ^gⁿ^if^ic^aⁿ^{t c}^h^aⁿ^g^eⁱⁿ^d^u^tie^s^,^re^s^ponsⁱ^b^ilit^ie^s^,^{or w}^o^rk^ing^c^oⁿ^d^itions^.

^{Merit S}^{ystem Principles}^{Prohibited Personnel Practic}^es
^{Fair and equitable tr}^{eatment of}^e^{mployees and}^Sol^{iciting or considering any reco}^{mmendation or stateme}^{nt, oral}
^{applicants for e}^{mployment in}^{all aspects of}^{or written, with res}^{pect to any}ⁱⁿ^{dividual who requests, or is}
^person^{nel manageme}^{nt without}^r^{egard to}^{under co}^{nsideration for, any pe}^rs^{onnel action unless}^suc^h
^politica^{l affiliat}^{ion, race, col}^{or, rel}^{igion, national}^{recommendation or stateme}^{nt is}^{based on the}^pe^rsonal
^{origin, sex, marital status, age, or handicap}^ping^{knowledge or records of the}^per^{son fur}^{nishing it, and consists of}
^{condition, and with proper rega}^r^d^{for their}^{an evaluation of the}^{work pe}^rfor^{mance, ability, aptitude, or}
^{privacy and}^{constitutional rights.}^{general q}^{ualifications of such indi}^{vidual, or an evaluation of the}
^{character, loyalty, or suitability of such}^individual.
^Equal^{pay for work}^{of eq}^{ual value}^{, with}^{Coercing the political activity of a}^{ny pe}^{rson (including t}^he
^approp^{riate consideration of bot}^{h national and}^{providing of any political contribu}^{tion or service) or taking any}
^{local rates paid by employers in t}^{he p}^rivate^{action against any em}^{ployee or a}^{pplicant for em}^{ployment as}^a
^{sector, and app}^{ropriate ince}^{ntives and}^{reprisal for the}^ref^{usal of any}^per^{son to engage in s}^uch^political
^{recognition for excellence in}^per^f^ormance.^activity.
^{Employee adhere}^{nce to}^{high sta}ⁿ^{dards of}^{Deceiving or willfully obstructing any pe}^{rson with}^respe^{ct to}
^{integrity, conduct, and concer}^{n f}^{or the p}^ublic^such^perso^{n’s right to compete.}
^interest.
^{Efficient and e}^ffective^{use of t}^{he f}^{ederal work}^Influe^{ncing an}^{y pe}^{rson to withdra}^{w from competition for an}^y
^force.^{position for the p}^u^r^{pose of impr}^{oving or injuring the}^prosp^ects
^{of any other}^perso^{n for em}^ployment.
^{Retain employees on the}^{basis of}^{the adeq}^{uacy of}^{Granting a}^ny^prefe^renc^{e or adva}^{ntage not a}^{uthorized by law,}
^{their per}^formanc^{e; correct inade}^quate^{rule, or regulation to any em}^{ployee or applicant}^{for employment}
^performa^{nce; and s}^eparate^those^{who cannot or}^{(including defining the scop}^{e or}^manne^{r of competition or the}
^{will not improve performan}^{ce to}^{meet req}^uired^requirem^ents^{for any}^{position) for the}^pu^{rpose of imp}^{roving or}
^standards.^{injuring the}^prospe^{cts of an}^{y pa}^rt^{icular person}^{for em}^ployment.
^{Provide employees effective educ}^{ation and}^{Appointing, employing, promotin}^{g, advancing, or advocating}
^{training to improve organizational and individual}^{such, in or to a civilian position any individual who is a relative of}
^performa^nce.^such^{employee if su}^ch^{position is in the age}^{ncy in w}^{hich s}^uch
^{employee is serving as a}^p^{ublic official or over which suc}^h
^{employee exercises}^{jurisdiction or control as an official.}
^{Protect employees against ar}^bitra^{ry action,}^{Taking or failing to take, or threatening su}^{ch, a p}^erson^{nel action}
^{personal favoritism, or coercion f}^{or partisan}^{with respe}^{ct to any e}^{mployee or}^{applicant for em}^ployment
^politica^{l purposes, a}^{nd prohi}^{bit th}^{e use of official}^because^{of any disclosure of in}^for^{mation, including to the Special}
^{authority or influe}^{nce to inter}^fer^{e with or affect}^{Counsel or an age}^{ncy I}ⁿ^s^pector^{General, by}^{the individual which}
^{the res}^{ult of an election or a}^{nomination for}^{he or sh}^{e reasona}^{bly believes evi}^{dences a violation of any law,}
^election.^{rule, or regulation, or gross mismanagement, a g}^{ross waste of}
^{funds, an}^abu^{se of aut}^{hority, or a substa}^{ntial and specific dange}^r
^{to public health}^{or safety;}^{provided the disclosure is not}
^{specifically prohibited by law and}^{if such in}^{formation is not}
^{specifically required b}^y^exe^cutive^{order to be kept}^{secret i}ⁿ^the
^{interest of national defen}^{se or th}^{e conduct of foreign}^affairs.

^{Merit S}^{ystem Principles}^{Prohibited Personnel Practic}^es
^{Protect employees against re}^pris^{al for the lawful}^{Taking or failing to take, or threatening su}^{ch, any}^per^sonnel
^{disclosure of information reasona}^{bly believed to}^{action against any em}^{ployee or a}^{pplicant for em}^ployment
^{evidence a violation of any law, rule, or}^because^{of the e}^{xercise of a}^{ny a}^p^{peal, complaint, or grievance}
^{regulation, or mismanagement, a}^{gross waste of}^{right granted}^{by a}^{ny law, rule, or regulation; testifying for, or}
^{funds, an}^abu^{se of aut}^{hority, or a substa}^{ntial and}^{otherwise lawfully assisting, any individual in the exer}^{cise of any}
^{specific danger to}^pu^{blic health or safety.}^{right refe}^{rred to above; cooperat}^{ing with or disclosing}
^{information to, the Ins}^pector^Ge^{neral of an age}^{ncy, or the}
^{special counsel, in accordance wi}^{th the law; or for}^ref^{using to}
^{obey an order t}^{hat would re}^quir^{e the individual to violate a law}^.
^{Discriminating for or against any}^{employee or applicant}^for
^{employment on t}^he^{basis of cond}^{uct whic}^{h does not adversely}
^{affect the}^pe^rformanc^{e of the i}^{ndividual or the per}^formance^of
^{others; exce}^{pt t}^{his shall not pro}^h^{ibit an agency}^{from taking into}
^{account, in determining}^{suitability or fitness, any}^{conviction of}
^{the employee or a}^{pplicant for a}ⁿ^y^{crime u}^{nder federal, state, or}
^{District of Columbia law.}
^{Knowingly taking, recommending}^{, or approving, or failing to do}
^{such, an}^{y pe}^{rsonnel action if t}^he^{taking of, or failing to take, such}
^{action would violate a veterans’ prefere}^{nce re}^quireme^nt.
^{Taking or failing to take any othe}^{r perso}^{nnel action if su}^{ch would}
^{violate any law, rule, or regulatio}^{n implementing, or directly}
^{concerning, t}^{he merit sys}^{tem p}^rinciples.
Department and agency heads also must follow regulations, codified at Title 5 of the Code of
Federal Regulations, that govern career appointments. Among these are Civil Service Rules 4.2
and 7.1:
^S^{ec. 4.2. Proh}ⁱ^bⁱ^tⁱ^oⁿ^agaiⁿ^s^{t raci}^al^{, p}^o^lⁱ^tⁱ^c^al^{or rel}ⁱ^gⁱ^o^u^s^dⁱ^s^cri^mⁱⁿ^a^ti^on^.^N^o^pers^on
^e^m^pl^o^y^{ed i}ⁿ^t^h^{e e}^x^ecu^tⁱ^v^e^braⁿ^ch^o^f^t^h^e^F^e^deral^G^o^v^e^rnm^e^nt^w^h^{o h}^a^s^au^t^h^ori^t^y^t^o^t^a^k^e^or
^recom^m^eⁿ^d^any^pers^onn^{el action}^wⁱ^t^h^res^p^{ect to any}^pers^on^w^h^{o is}^an^e^m^plo^y^{ee i}ⁿ^th^e
^co^m^p^eti^tiv^{e ser}^v^{ice o}^r^an^y^eli^g^ib^{le o}^r^[^s^ic]^ap^p^lican^{t f}^o^r^{a p}^o^sitioⁿⁱⁿ^t^h^{e co}^m^p^etiti^v^e^s^e^r^vⁱ^c^e
^sh^all^m^a^k^e^aⁿ^yⁱⁿ^q^u^ir^y^coⁿ^cernⁱⁿ^g^t^h^{e race, p}^o^{litical a}^f^filiati^oⁿ^{, o}^r^relig^io^u^s^b^e^{liefs o}^f^aⁿ^y
^su^c^h^e^m^p^l^o^y^{ee, eli}^g^ib^{le, o}^r^a^p^p^lican^t.^A^{ll d}ⁱ^sclo^s^u^r^e^{s co}ⁿ^c^erⁿⁱⁿ^g^su^c^h^m^a^tter^s^s^h^{all b}^e
^igⁿ^o^r^e^d^,^ex^cep^{t as to}^s^u^c^h^m^e^m^b^er^sh^ipⁱⁿ^p^o^{litical p}^a^r^{ties o}^r^o^r^g^aⁿⁱ^zatioⁿ^s^{as co}ⁿ^s^ti^tu^te^{s b}^y
^la^w^{a d}ⁱ^sq^u^a^li^fⁱ^catioⁿ^f^o^r^Go^v^e^rⁿ^m^eⁿ^t^e^m^p^l^o^y^m^eⁿ^t^{. No}^dⁱ^scrⁱ^mⁱⁿ^a^tioⁿ^s^h^{all b}^e^ex^er^ci^sed^,
^th^reaten^{ed, or pro}^m^is^{ed b}^y^aⁿ^y^pers^onⁱⁿ^th^e^ex^ec^u^tⁱ^v^{e branch}^{of th}^e^{Federal Gov}^e^rⁿ^m^eⁿ^t
^ag^ains^{t or in}^f^a^v^o^{r of}^any^e^m^p^l^oy^{ee i}ⁿ^th^{e co}^m^p^eti^tiv^{e ser}^v^ic^{e, o}^r^an^y^elig^ib^{le o}^r^ap^p^lican^t
^f^o^{r a p}^o^s^itioⁿⁱⁿ^th^e^co^m^p^etit^iv^{e serv}^ice^b^ecau^se^o^f^hⁱ^s^{race, p}^o^{litical aff}ⁱ^liatioⁿ^,^o^r^reli^gⁱ^o^u^s
^belief^s^{, ex}^{cept a}^s^m^a^y^{be au}^t^{horized o}^r^requ^ired^by^la^w^.
^{Sec. 7}^.¹^Discretio^{n in filling}^v^a^ca^ncies.^In^hⁱ^s^dis^c^retion^,^an^appoin^tin^g^o^f^fⁱ^cer^m^a^y^f^{ill any}
^pos^itionⁱⁿ^t^h^e^co^m^p^etiti^v^e^s^e^r^v^{ice ei}^th^{er b}^y^co^m^p^e^titi^v^e^appoin^t^m^eⁿ^t^f^r^o^m^a^civil^s^e^rv^ice
^r^e^gⁱ^ster^o^r^b^yⁿ^oⁿ^c^o^m^p^e^titi^v^e^selectioⁿ^o^f^{a p}^r^esen^{t o}^r^f^o^r^m^er^Fed^e^r^a^{l e}^m^p^l^o^y^{ee, i}ⁿ
^accordan^{ce w}^ith^t^h^{e C}ⁱ^v^{il Se}^rv^{ice R}^e^gu^latioⁿ^s^{. He s}^h^a^{ll ex}^ercis^e^hⁱ^s^dis^c^retionⁱⁿ^all
^p^e^r^s^oⁿⁿ^e^{l actio}ⁿ^s^so^lel^y^oⁿ^th^{e b}^a^{sis o}^f^m^e^r^{it a}ⁿ^d^fⁱ^tⁿ^es^{s an}^d^wⁱ^t^h^o^u^{t r}^e^g^a^r^d^to^p^o^{litical o}^r
^relig^io^u^s^aff^ilia^tioⁿ^s^,^m^a^{rital s}^t^atu^s^{, o}^r^race.
Other regulations provide that Office of Personnel Management (OPM) approval is required
before employees in Schedule C positions may be detailed to competitive service positions,
public announcement is required for all SES vacancies that will be filled by initial career

appointment, and details to SES positions that are reserved for career employees (known as ⁹
Career-Reserved) may only be filled by career SES or career-type non-SES appointees.
During the period June 1, 2008, through January 20, 2009, defined as the Presidential Election ¹⁰
Period, certain appointees are prohibited from receiving financial awards. These appointees,
referred to as senior politically appointed officers, are
• individuals serving in noncareer SES positions;
• individuals serving in confidential or policy determining positions as Schedule C
employees; and
• individuals serving in limited term and limited emergency positions.
When a department or agency, for example, converts an employee from an appointed (noncareer)
position to a career position without any apparent change in duties and responsibilities, or that
appears to be tailored to the individual’s knowledge and experience, such actions may invite
scrutiny. OPM and the Government Accountability Office (GAO) each conduct oversight related
to conversions of employees from noncareer to career positions to ensure that proper procedures
have been followed.
In addition to its general oversight authority, OPM conducts pre-appointment reviews of certain
appointments to career positions in the competitive service and the SES during the transition. The
agency announces this review in a memorandum to the heads of departments and agencies early
in the year in which the presidential election occurs. OPM released the memorandum covering
the 2008 transition on March 17, 2008, and it is effective from that date through January 20,
2009. According to the memorandum, OPM must specifically authorize the following actions by
a department or agency:
^P^r^o^pos^{ed com}^p^etiti^v^e^s^e^rv^ice^appoin^t^m^e^{nt actio}ⁿ^s^t^h^at^inv^o^l^v^{e a c}^u^rren^{t or}^f^o^r^m^{er (}^w^it^hⁱⁿ
^th^{e last}^fⁱ^v^e^y^ear^s)ⁱⁿ^c^u^m^b^eⁿ^{t o}^f^an^ex^ec^u^tⁱ^v^{e b}^r^an^ch^p^o^s^itioⁿ^ex^cep^ted^f^r^o^m^t^h^e^c^o^m^p^e^tⁱ^tⁱ^v^e
^s^e^rvⁱ^{ce un}^{der S}^c^h^e^d^u^l^e^C^.
^P^r^o^pos^{ed com}^p^etiti^v^e^s^e^rv^ice^appoin^t^m^e^{nt actio}ⁿ^s^t^h^at^inv^o^l^v^{e a c}^u^rren^{t or}^f^o^r^m^{er (}^w^it^hⁱⁿ¹¹
^t^h^{e l}^a^s^t^fⁱ^v^e^y^ears⁾^N^oⁿ^{career S}^eⁿⁱ^{or Ex}^ec^u^tⁱ^v^{e S}^e^rvⁱ^{ce (S}^E^S^{) appoi}ⁿ^t^ee.
When a department or agency proposes selections to the SES that involve a current or former
Schedule C or noncareer SES appointee, OPM will conduct merit reviews before the candidate is ¹²
formally presented to a Qualifications Review Board.

⁹^T^h^e^s^e^r^e^g^u^la^tions^a^r^e^c^odifⁱ^e^d^a^t^{5 C}^.^F.R^.^§³⁰⁰^.³⁰¹⁽^c⁾^,⁵^C^.^F.R^.^§³^17.⁵⁰^{1, a}ⁿ^d^{5 C}^.^F^.^R^.^§3^17.⁹⁰³⁽^c⁾^{, r}^e^s^p^e^c^tiv^e^l^y^.
¹⁰^{5 U}^.^S^.^C^.^§4⁵⁰^{8 a}ⁿ^{d 5}^C^.^F.R^.^§⁴⁵¹^.1^05.
¹¹^U^.^{S. O}^f^fⁱ^c^e^o^f^P^e^r^s^on^ne^{l Ma}^na^g^e^m^e^{nt, Me}^m^o^r^a^ndum^f^o^r^H^e^a^d^s^of^D^e^pa^r^t^m^e^nts^a^{nd A}^g^eⁿ^cⁱ^e^s^{, f}^r^o^m^Lⁱ^nda^M.
^S^p^riⁿ^g^er,^Di^rect^o^r^,^Ap^po^intm^eⁿ^ts^and^Aw^ar^ds^D^u^rⁱ^{ng t}^h^e²⁰⁰⁸^Pre^s^ideⁿ^tia^{l Ele}^c^tio^{n Pe}^ri^od^,^Ma^r^c^{h 17, 20}⁰⁸^,
^A^tta^c^h^m^e^{nt 1. (}^H^e^r^e^a^f^te^r^r^e^f^e^r^r^e^d^{to a}^s^A^ppoi^ntm^e^nts^a^{nd A}^w^a^r^ds^D^u^rⁱ^ng^the²⁰⁰⁸^P^r^e^s^ideⁿ^tⁱ^a^l^Ele^c^tion^P^e^rⁱ^o^d^.)
¹²^A^c^c^o^r^d^ing^t^o^O^P^M^,^“^Q^ua^lif^ic^a^tions^R^e^vⁱ^ew^B^o^a^r^ds⁽^Q^R^B^s⁾^a^r^e^O^P^M-^a^d^mⁱ^nis^t^e^r^e^d^inde^pe^ndeⁿ^t^b^o^a^r^ds^of^s^e^nior
^execu^tⁱ^v^e^s^t^h^at^{assess t}^h^{e execu}^tⁱ^{ve co}^{re q}^u^a^lⁱ^fⁱ^catⁱ^oⁿ^s^o^f^S^E^S^candⁱ^d^a^t^e^s^[^t^h^a^t^]^m^u^st^certⁱ^f^y^t^h^at^an^S^E^S^can^di^d^a^t^e^h^a^s
^th^{e b}^r^o^a^d^lead^ershⁱ^p^sk^{ills t}^o^b^e^s^u^ccess^f^u^lⁱⁿ^{a v}^a^riety^o^f^{SES p}^o^sⁱ^tioⁿ^s^.”

A “Pre-Appointment Review Checklist” is included as an attachment to the OPM memorandum
and lists the documentation that a department’s or agency’s Director of Human Resources must
submit to OPM along with a dated cover letter. The documentation includes the following:
• The position descriptions for the candidate’s current or former appointment and
the proposed appointment, including information on why and how the respective
positions were established and the relationship between the positions.
• A statement that explains the disposition of the proposed selectee’s current
Schedule C or noncareer SES position, if vacated.
• The complete file for the proposed merit selection, including the vacancy
announcement published in USAJOBS on OPM’s website; recruiting sources and
advertising methods used in addition to USAJOBS; the job analysis, justification
of any selective factor, and rating schedule/crediting plan; applications from all
candidates who applied with information on how each was rated; information on
how the regulatory requirements of the Interagency Career Transition Assistance
Program were met; and the referral list(s) issued to the selecting official and the
completed referral list documenting the tentative selection.
• A description of candidate sources considered other than from a competitive
vacancy announcement and the resulting referral lists forwarded to the selecting
official, if any.
• The name, title, telephone number, and type of appointment (e.g., career SES,
Schedule C, presidential appointee) of the selecting official.
OPM cautions departments and agencies not to
^[^C^]^r^{eate o}^r^anⁿ^o^uⁿ^{ce a co}^m^p^etitiv^{e ser}^v^{ice v}^acaⁿ^c^y^f^o^r^th^{e so}^{le p}^u^r^p^o^s^{e o}^f^selectin^g^a
^cu^rren^t^{or f}^o^r^m^{er Sc}^h^e^du^le^C^{or Non}^{career SES em}^plo^y^ee.
^[R^]e^m^o^v^e^t^h^{e Sch}^e^{dule C}^or^Non^{career SES ele}^m^en^t^s^of^{a pos}^ition^s^o^lel^y^{to appoin}^t^th^e¹³
ⁱⁿ^cu^m^b^eⁿ^{t in}^to^th^{e co}^m^p^etit^iv^{e ser}^v^ice.
To assist departments and agencies, OPM also publishes the Presidential Transition Guide to ¹⁴
Federal Human Resources Management every four years. The current edition, released in June
2008, includes detailed guidance on standards of ethical conduct, appointments, and
compensation for federal employees.
GAO’s oversight focuses on review, after the fact, of conversions from noncareer to career
positions. The agency has begun to collect data from executive branch departments and agencies
on such conversions that have occurred since its last evaluation was published in May 2006. The
results of that audit covered the period May 2001 through April 2005, and provide the most
current retrospective data. The evaluation found that, of 130 conversions at GS-12 or higher,
^f^o^{r 37}^of^th^es^{e con}^v^e^rs^ion^s^it^appears^th^{at ag}^en^cies^{did n}^o^{t f}^o^llo^w^proper^proce^d^u^r^es^or
^a^g^eⁿ^cⁱ^e^s^dⁱ^d^no^t^p^r^o^vⁱ^d^e^eⁿ^o^{ugh i}ⁿ^fo^r^m^a^tⁱ^oⁿ^fo^r^{us t}^o^m^a^ke^aⁿ^a^sse^ss^me^nt^.^Fo^r¹⁸^o^f^t^h^e³⁷

¹³^A^ppointm^e^nts^a^{nd A}^w^a^r^d^s^D^u^rⁱ^ng^the²⁰⁰⁸^P^r^e^s^ideⁿ^tⁱ^a^l^Ele^c^tioⁿ^Pe^rⁱ^{od, A}^tta^c^h^m^e^{nt 4.}
¹⁴^U^.^{S. O}^f^fⁱ^c^e^o^f^P^e^r^s^on^ne^{l Ma}^na^g^e^m^e^nt,^Pr^e^s^ideⁿ^ti^{al Tr}^ans^it^io^{n G}^uⁱ^d^e^to^Fe^de^r^a^{l H}^u^m^aⁿ^Re^s^our^c^e^s^M^ana^ge^m^e^nt^,
^June²⁰⁰⁸^{, a}^v^a^ila^ble^a^t^h^ttp:^//www^.c^hc^oc^.g^ov^/^T^ra^ns^m^itta^ls/^A^tta^c^h^m^e^nts/traⁿ^s13^00.^pdf^.

^of^th^es^{e conv}^ersⁱ^oⁿ^s^,^{it appear}^s^th^{at ag}^eⁿ^cies^{did n}^o^{t f}^o^llo^w^p^r^oper^proce^d^u^r^es^{. Som}^e^of^t^h^e
^a^p^p^a^r^e^ntⁱ^m^p^r^o^p^e^r^p^r^o^c^ed^ur^e^sⁱⁿ^cl^u^d^{ed: s}^e^lecting^f^o^r^m^{er n}^{oncareer ap}^poin^t^ees^w^h^{o appeare}^d
^to^h^a^v^e^li^m^ited^q^u^a^lif^icatioⁿ^s^an^d^ex^p^e^rⁱ^en^ce^f^o^r^car^eer^p^o^s^it^ioⁿ^s^{, cr}^eatiⁿ^g^car^eer^p^o^s^itioⁿ^s
^s^p^ecifⁱ^call^y^f^o^{r particu}^l^{ar i}ⁿ^divⁱ^du^al^s^,^an^d^f^a^ili^ng^{to appl}^y^v^e^teran’^s^pref^eren^{ce i}ⁿ^t^h^e¹⁵
^se^le^c^tio^{n p}^r^o^c^e^ss.
The GAO findings are examined closely by Congress, as evidenced by correspondence sent to the
OPM director by Representatives Henry Waxman (then the Ranking Member, and now the
Chairman of the House Committee on Oversight and Government Reform) and Danny Davis
(then the Ranking Member, and now the Chairman of the House Subcommittee on Federal
Workforce and Agency Organization) following the most recent evaluation. In a letter dated May
25, 2006, both Members directed OPM’s attention to the GAO evaluation and urged the agency to
consider whether its procedures for pre-appointment review of conversions “are sufficient to
prevent further abuses.” The letter emphasized that, “The merit-based federal workforce is critical
to ensuring a competent government that will enforce laws consistently across administrations” ¹⁶
and stated that selecting political appointees on the basis of favoritism jeopardizes this.
Members and committees of Congress scrutinize conversions as part of their oversight of ^th
government operations. Particular focus in the 110 Congress, for example, has been on staffing
at the Departments of Homeland Security (DHS) and Justice (DOJ), especially in the wake of the
leadership and management deficiencies at DHS during and after Hurricane Katrina, and ¹⁷
improper procedures used by DOJ staff in selecting and removing United States attorneys.
In a January 2008 report to the DHS Secretary on the transition, the Homeland Security Advisory
Council recommended that the department “consider current political appointees with highly ¹⁸
specialized and needed skills for appropriate career positions.” That same month, an entry in the
DHS leadership journal, published on the department’s website, discussed transition planning.
Then Acting Deputy Secretary Paul Schneider wrote that,
^{as p}^a^r^t^o^f^th^{is p}^l^anⁿⁱⁿ^g^,^w^e^’^r^{e f}^illiⁿ^g^so^m^e^o^f^t^h^{e to}^p^j^o^b^s^p^r^ev^io^u^s^l^y^h^e^ld^b^y^p^o^litical
^appoiⁿ^t^ees^wⁱ^t^h^{career prof}^es^sⁱ^on^al^s^.^F^o^{r e}^x^a^m^pl^{e, l}^a^s^t^y^ear,^w^e^m^a^{de Ja}^y^A^h^erⁿ^,^{a 30-y}^ear
^ve^t^e^r^a^{n o}^f^t^h^e^fe^d^e^r^a^l^go^ve^rⁿ^m^e^nt^,^se^c^o^nd^-iⁿ^-^c^o^mma^nd^o^f^o^u^r^C^u^st^o^m^{s a}ⁿ^d^B^o^r^d^e^r

¹⁵^U^.^{S. G}^o^v^e^rnm^e^nt^A^c^c^ounta^b^ility^O^f^fⁱ^c^e^,^Pe^r^s^onne^{l Pr}^ac^tic^e^s^;^C^oⁿ^v^e^r^sⁱ^ons^{of Em}^plo^{yees f}^r^o^m^N^oⁿ^c^a^r^{eer t}^o^Ca^reer
^Positio^{ns M}^a^y²⁰⁰¹^-A^pril²⁰⁰⁵^.^GAO-06-3⁸¹^(W^a^s^hing^to^{n: G}^A^O^{, Ma}^y²⁰⁰⁶⁾^{, p}^p^.^4-5^.^F^o^{r a}^disc^us^sion^of^fⁱ^nding^s
^f^r^o^m^e^a^r^lie^r^G^A^O^ev^a^l^ua^tions^{, s}^e^e^C^R^S^R^e^por^{t R}^L³⁴⁷²^2,^Pre^s^ideⁿ^{tial Transit}^io^ns:^Issu^{es I}ⁿ^vo^l^vⁱⁿ^g^Ou^t^g^oi^ng^an^d
^In^co^ming^A^d^minⁱ^str^a^tion^s^,^by^L^.^Elaⁱ^ne^H^a^lc^hin.
¹⁶^L^e^tte^r^f^r^om^R^e^pr^e^s^eⁿ^ta^tiv^e^s^H^eⁿ^r^y^A^.^W^a^xm^aⁿ^a^{nd D}^a^nny^K^.^D^a^vⁱ^s^,^{to L}ⁱ^nda^M^.^S^p^rⁱ^ng^e^r^{, D}ⁱ^r^e^c^t^o^r^of^the^O^f^fⁱ^c^e^of
^P^e^r^s^o^nne^l^Ma^na^g^e^m^e^{nt, Ma}^y^25,²⁰⁰^6.
¹⁷^S^ee,^f^o^{r exa}^m^p^l^e,^U.^S^.^Con^g^ress,^Ho^u^s^{e S}^e^l^ect^Bi^p^a^rtⁱ^s^an^Co^m^mⁱ^t^t^{ee t}^o^In^vestⁱ^g^at^{e t}^h^e^P^r^ep^aratⁱ^oⁿ^F^o^{r and}
^R^e^s^pons^e^to^H^u^r^rⁱ^c^aⁿ^e^K^a^tr^ina^,^A^F^aⁱ^l^u^r^{e o}^f^Iⁿⁱ^tⁱ^a^tⁱ^{ve: F}ⁱⁿ^a^l^R^e^po^rt^o^f^t^h^{e S}^e^l^ect^Bⁱ^p^a^r^tⁱ^sa^{n Co}^mmi^t^t^{ee t}^o^In^vestⁱ^g^a^t^e^th^nd
^the^Pr^e^par^atio^{n F}^o^r^aⁿ^d^Re^s^p^oⁿ^s^e^{to Hurric}^a^ne^Katriⁿ^a^{, 10}⁹^Co^ng^{., 2}^s^e^s^s^.⁽^W^a^s^hing^{ton: G}^P^O^,^Fe^br^ua^r^y^15,
²⁰⁰⁶⁾^{; U}^.^{S. C}^ong^r^e^s^s^,^Se^na^te^C^o^m^m^itte^e^{on H}^o^m^e^la^{nd Se}^c^u^r^ity^a^{nd G}^o^v^e^rⁿ^m^e^nta^l^A^f^f^a^ir^s^,^H^u^r^rⁱ^cane^K^a^trⁱⁿ^a:^A^th^nd
^Natio^{n Still}^U^npre^p^are^d^{. Spe}^cⁱ^a^l^Re^port^{, 10}⁹^Cong^.,²^s^e^s^s^{., S.}^R^e^{pt. 1}^09-³²^{2 (}^W^a^s^hing^to^{n: G}^P^O^,²⁰⁰⁶⁾^{; a}ⁿ^d^U^.^S.
^D^e^pa^r^t^m^e^{nt of}^J^u^s^tic^e^,^O^f^fⁱ^c^e^of^P^r^of^e^s^sⁱ^ona^{l R}^e^s^ponsⁱ^b^ili^ty^a^{nd O}^f^fⁱ^c^e^o^f^the^Iⁿ^s^p^e^c^t^or^G^e^ne^r^a^l,^{An I}ⁿ^v^e^s^tigati^oⁿ^of
^Alle^gat^io^ns^of^Poli^tic^iz^e^d^Hⁱ^rⁱⁿ^g^by^M^onic^a^G^o^o^d^li^ng^an^{d O}^t^he^r^St^{aff i}ⁿ^t^h^e^O^ffic^e^of^the^At^torⁿ^e^y^G^e^ne^r^a^l^{, J}^u^ly^28,
²⁰⁰^8.
¹⁸^U^.^{S. D}^e^pa^r^t^m^e^{nt of}^H^o^m^e^la^{nd Se}^c^u^r^ity^{, H}^o^m^e^la^{nd Se}^c^u^r^ity^A^d^vⁱ^s^o^r^y^C^ounc^il,^Repo^rt^o^f^t^h^{e Ad}^miⁿⁱ^stra^ti^oⁿ
^Tr^ans^iti^on^Tas^k^F^o^r^c^e^{, J}^a^nua^r^y²⁰⁰⁸^{, p}^.⁶^.

^P^r^otection^com^pon^en^{t. J}^u^s^t^recen^tl^y^,^{at ou}^{r T}^r^aⁿ^s^p^o^r^t^a^tⁱ^oⁿ^S^e^c^u^rⁱ^ty^A^d^mⁱⁿⁱ^s^t^r^a^tⁱ^oⁿ^,^w^e^f^ille^d
^ou^{r depu}^t^y^s^l^ot^wⁱ^t^h^G^a^l^e^R^o^s^sⁱ^d^es^,^w^h^{o al}^s^o^h^a^s^h^a^{d a 30-y}^e^a^r^f^e^deral^career^aⁿ^d^h^a^s^s^e^r^v^e^d
^{at T}^S^A^sⁱⁿ^{ce it}^sⁱⁿ^ception^sⁱ^x^y^ears^a^g^{o. An}^d^w^e^{are trai}ⁿⁱⁿ^g^an^{d cros}^s^-^trainⁱ^ng^s^u^c^h^s^eⁿⁱ^or
^car^eer^p^e^o^p^l^{e to}^en^su^r^e^th^{at D}^H^S^w^{ill h}^a^v^e^th^{e co}ⁿ^tⁱⁿ^uⁱ^t^y^o^f^le^a^d^e^r^s^hⁱ^pⁱ^tⁿ^e^e^d^s^f^o^l^l^o^wⁱⁿ^g^th^e¹⁹
^tr^an^sitioⁿ^.
The Wall Street Journal discussed the initiative in a January 11, 2008, article noting that DHS
“has begun an unusual—and potentially controversial—effort to smooth the transition to a new ²⁰
administration.” On February 7, 2008, Representative Bennie Thompson, Chairman of the
House Committee on Homeland Security, wrote a letter to DHS Secretary Michael Chertoff. He
reiterated his concerns about personnel vacancies at DHS and stated these views:
^I^am^s^u^r^e^th^at^y^o^u^w^o^u^l^d^ag^r^{ee th}^{at it}^w^o^u^l^d^b^eⁱⁿ^ap^p^r^o^p^rⁱ^{ate to}^f^{ill car}^eerⁿ^oⁿ^-^p^o^litical
^ex^ecu^tⁱ^v^e^le^v^e^{l p}^o^s^itioⁿ^s^w^ith^p^o^{litical ap}^p^oⁱⁿ^{tees ab}^sen^t^aⁿ^o^p^eⁿ^an^d^f^u^ll^y^co^m^p^et^iti^v^e
^proces^s^.^W^h^{ile I u}ⁿ^d^ers^t^aⁿ^{d th}^{at s}^o^m^e^cou^l^{d argu}^{e th}^{at t}^h^es^{e in}^di^vⁱ^du^al^s^m^a^y^be^w^e^ll^-
^qu^alⁱ^fⁱ^e^{d an}^{d can}^provⁱ^d^{e con}^tⁱⁿ^ui^t^y^d^u^ri^ng^{a t}^r^an^sⁱ^tⁱ^on^peri^{od, ot}^h^e^rs^cou^l^d^w^e^l^l^argu^{e t}^h^at
^{to perm}ⁱ^t^{political appoin}^t^ees^t^o^occu^pyⁿ^oⁿ^-^political^pos^itioⁿ^s^co^u^l^{d be v}ⁱ^e^w^{ed b}^y^s^o^m^e^as
^an^atte^m^p^{t to}^ins^u^la^{te politica}^l^appoin^t^ees^f^r^o^m^th^e^v^a^g^a^rie^s^of^th^e^{political appoin}^t^m^e^nt
^s^y^ste^m^aⁿ^d^p^r^o^v^id^{e an}ⁱⁿ^terⁿ^al^o^b^s^tr^u^c^tioⁿ^to^th^{e p}^o^{licies o}^f^th^{e n}^e^w^ad^mⁱⁿⁱ^s^t^r^a^tⁱ^oⁿ^.^C^l^e^a^r^ly^,²¹
^th^{e latter}ⁱⁿ^ter^p^r^e^tatioⁿ^{is d}^eep^l^y^tr^o^u^b^lⁱⁿ^g^.
Representative Thompson also requested that Secretary Chertoff “issue a policy directive to
prohibit the ‘burrowing in’ of political appointees into non-political career positions within the ²²
Department.” CRS research did not locate a publicly available record of any such directive.
With regard to personnel actions at the Department of Justice, Senators Dianne Feinstein and
Charles Schumer, members of the Senate Committee on the Judiciary, reportedly wrote a letter to
Attorney General Michael Mukasey on July 24, 2008. According to the Washington Post, the
letter asked the Attorney General to “exercise vigilance” against political appointees moving into
career positions, and stated that
^W^h^en^uⁿ^q^u^a^li^fⁱ^{ed political appoin}^t^ees^ta^k^e^ov^{er j}^obs^better^lef^t^{to s}^k^{illed ca}ⁿ^d^idates^{, it}
^th^reatens^t^h^e^ag^eⁿ^c^y^’s^prof^e^s^sⁱ^on^a^lis^m^aⁿ^{d i}ⁿ^depen^d^en^ce^{. W}^e^don^’^tⁿ^eed^ideologⁱ^cal²³
^st^o^w^a^w^a^y^{s u}ⁿ^d^e^r^mⁱⁿⁱ^{ng t}^h^e^w^o^r^k^o^f^t^h^e^ne^xt^a^d^miⁿⁱ^st^r^a^tⁱ^o^n.
In assessing the current situation, Congress may decide that the existing system of oversight is
sufficient. However, if Congress determines that additional measures are needed to further ensure
that conversions from appointed (noncareer) positions to career positions are conducted according
to proper procedures and transparent, the following options could be considered:

¹⁹^{U.S. De}^pa^rtm^e^{nt of}^Hom^e^la^{nd Se}^c^u^rity^,^L^e^a^d^e^r^{ship Jour}^na^{l, “}^T^ra^nsitio^{n: He}^a^d^{s W}^e^Wⁱ^{n, T}^a^{ils You L}^o^se^,”^Ja^nua^ry
^19,²⁰⁰⁸^{, a}^v^a^ila^ble^a^t^htt^p^://w^ww^.^dhs.g^ov^/^j^ourna^l/^le^a^d^e^r^sh^ip/²⁰^08/^01/^traⁿ^sitio^n-he^a^d^s-w^e^-^w^in-ta^ils-y^ou-lose^.htm^l.
²⁰^Sio^bhaⁿ^G^o^rm^aⁿ^{, “}^P^olitic^s^aⁿ^{d E}^c^onom^ic^s^:^H^o^m^e^la^{nd Se}^c^u^rity^H^a^ndof^f^;^Ca^re^e^r^E^m^ploy^ee^s^Mov^e^Into^Pos^iti^ons
^Oⁿ^c^e^H^e^{ld by}^P^o^litic^a^l^A^ppoi^nte^e^s^,^”^W^a^{ll Str}^e^e^t^J^o^ur^na^l^{, J}^aⁿ^u^a^r^y^{11, 2}⁰⁰⁸^,^{p. A}⁵^.
²¹^L^e^t^t^e^r^f^r^o^m^Rep^r^es^en^t^a^tⁱ^v^{e Ben}ⁿⁱ^{e G}^.^T^h^o^m^p^s^oⁿ^t^o^Mⁱ^ch^ael^C^h^ert^o^f^f^,^S^ecr^et^ar^y^o^f^t^h^{e Dep}^a^rt^m^eⁿ^t^o^f^Ho^mel^aⁿ^d
^Se^c^u^r^ity^{, Fe}^br^ua^r^y^{7, 20}^08.
²²^Ibid^.
²³^C^a^r^rⁱ^e^J^ohns^on,^“^M^uk^a^s^ey^A^s^k^e^{d to}^W^a^tc^{h f}^o^r^Lⁱ^ng^e^r^e^r^s^,^”^W^a^s^h^ingt^{on Pos}^t^,^J^u^ly^25,²⁰^08,^p.^A⁸^.

• OPM could be directed by Congress to report on the results of its examinations of
conversions, including those that are subject to pre-appointment review. The
report could be included in the agency’s annual performance plan that
accompanies the budget justification submitted to the House and Senate
Committees on Appropriations each February. It could provide information on
conversions that did not follow proper procedures and the remedial actions taken,
and discuss whether any amendments to current law are needed to ensure that the
legal and regulatory requirements are met. OPM is authorized to review awards
programs at departments and agencies. Congress could direct OPM to review
awards granted in the executive branch and certify in its annual performance plan
that awards were not granted during the Presidential Election Period.
• OPM could be directed by Congress to report on whether any changes are needed
in the time period covered by the agency’s pre-appointment review of
conversions, or in the Presidential Election Period, that restricts awards to senior
politically appointed officers. OPM issued its memorandum on pre-appointment
review for 2000 on February 18; for 2004, on March 18; and for 2008, on March
17. As discussed above, the dates of the Presidential Election Period are defined
by law, and in a presidential election year, cover the period from June 1 through
the following January 20.
• Congress could mandate that the annual performance plans that accompany
department and agency budget justifications submitted to Congress in February
of each year include information on conversions during the applicable fiscal year.
The performance plan submitted in the month following the inauguration of the
President could include a certification that awards were not granted during the
Presidential Election Period.
• Departments and agencies could mandate that all officials with hiring authority
be required to annually certify, in writing, that they understand the legal and
regulatory requirements on the conversion of employees from appointed
(noncareer) positions to career positions and on the prohibition on awards during
the Presidential Election Period. A training session, that could be available
electronically, could be provided to those officials who desire to review their
knowledge and understanding of the procedures. A hiring official’s failure to
follow the proper procedures could be noted on the individual’s performance
evaluation.
• GAO and OPM could jointly explore options for the personnel agency, and the
departments and agencies, to expedite the transmittal of information on
conversions to GAO so that any necessary remedial actions can be recommended
by GAO and taken by OPM quickly, and closer to the time that the conversions
occurred.

^B^a^{rbara L}^.^Schw^e^m^le
^An^al^y^s^{t i}ⁿ^Am^erican^Natⁱ^on^al^Gov^e^rnm^e^nt
^bs^chw^e^m^l^e^@^crs^.^l^o^c.g^o^v^,^7-⁸⁶⁵⁵